Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Joseph Nicholas Clevenger | 1258965 | 1 | 01/10/2005 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Michael Robert Zent | 2134123 | 2 | 05/19/2004 | Customer Dispute | Denied | $16,591.40 | $0.00 | See FINRA Report |
| Robert Richard Wheeler | 1461387 | 2 | 04/19/2004 | Customer Dispute | Settled | $115,656.00 | $0.00 | See FINRA Report |
| Scott Alan Sprague | 1890546 | 1 | 09/30/2002 | Customer Dispute | Settled | $5,228.56 | $0.00 | See FINRA Report |
| Stephen Duncan Home | 1684222 | 1 | 10/05/2001 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Jong Sook Oh | 1548591 | 1 | 07/18/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stuart Bradley Arakelian | 1430141 | 2 | 06/16/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Edward Siegel | 709175 | 1 | 09/21/1993 | Customer Dispute | Settled | $71,000.00 | $0.00 | See FINRA Report |
| Christopher Freitas Mercado | 2827417 | 1 | 07/30/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Vincent Krug | 7149445 | 2 | 03/04/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |